Survey Sampling Theory & Small and Hard-to-reach Groups Geert Molenberghs Interuniversity Institute for Biostatistics and statistical Bioinformatics (I-BioStat) Universiteit Hasselt & KU Leuven, Belgium geert.molenberghs@uhasselt.be & geert.molenberghs@kuleuven.be www.ibiostat.be Interuniversity Institute for Biostatistics and statistical Bioinformatics InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016
Relevant References • Barnett, V. (2002). Sample Survey: Principles and Methods (3rd ed.) . London: Arnold. • Billiet, J. (1990). Methoden van Sociaal-Wetenschappelijk Onderzoek: Ontwerp en Dataverzameling. Leuven: Acco. • Billiet, J., Loosveldt, G., and Waterplas, L. (1984). Het Survey-Interview Onderzocht. Sociologische Studies en Documenten, 19 , Leuven. • Brinkman, J. (1994). De Vragenlijst. Groningen: Wolters-Noordhoff. • Chambers, R.L. and Skinner, C.J. (2003). Analyis of Survey Data. New York: Wiley. • Cochran, W.G. (1977). Sampling Techniques . New York: Wiley. • Foreman, E. K. (1991). Survey Sampling Principles. New York: Marcel Dekker. InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 1
• Fowler, Jr., F.J. (1988). Survey Research Methods. Newbury Park, CA: Sage. • Groves, R.M., Fowler, F.J., Couper, M.P., Lepkowski, J.M., Singer, E., and Tourangeau, R. (2004). Survey Methodology . New York: Wiley. • Heeringa, S.G., West, B.T., and Berglund, P.A. (2010). Applied Survey Data Analysis. Boca Raton: Chapman & Hall/CRC. • Kish, L. (1965). Survey Sampling. New York: Wiley. • Knottnerus, P. (2003). Sample Survey Theory . New York: Springer. • Korn, E.L. and Graubard, B.I. (1999). Analysis of Health Surveys . New York: Wiley. • Lehtonen, R. and Pahkinen, E.J. (1995). Practical Methods for Design and Analysis of Complex Surveys. Chichester: Wiley. • Lessler, J.T. and Kalsbeek, W.D. (1992). Nonsampling Error in Surveys . New York: InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 2
Wiley. • Levy, P. and Lemeshow, S. (1999). Sampling of Populations. New York: Wiley. • Little, R.J.A. (1982). Models for nonresponse in sample surveys. Journal of the American Statistical Association , 77 , 237–250. • Little, R.J.A. (1985). Nonresponse adjustments in longitudinal surveys: models for categorical data. Bulletin of the International Statistical Institute , 15 , 1–15. • Little, R.J.A. and Rubin, D.B. (2002). Statistical Analysis with Missing Data (2nd ed.). New York: Wiley. • Lumley, T. (2010). Complex Surveys. A Guide to Analysis Using R. Ch • Lynn, P. (2009). Methodology of Longitudinal Surveys. Chichester: New York: John Wiley & Sons. InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 3
• Molenberghs, G. and Kenward, M.G. (2007). Missing Data in Clinical Studies. New York: Wiley. • Molenberghs, G. and Verbeke, G. (2005). Models for Discrete Longitudinal Data . New York: Springer. • Moser, C.A., Kalton, G. (1971). Survey Methods in Social Investigation . London: Heinemann. • Rubin, D.B. (1987). Multiple Imputation for Nonresponse in Surveys. New York: Wiley. • Scheaffer, R.L., Mendenhall, W., and Ott L. (1990). Elementary Survey Sampling . Boston: Duxbury Press. • Skinner, C.J., Holt, D., and Smith, T.M.F. (1989). Analysis of Complex Surveys . New York: Wiley. InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 4
• Som, R.J. (1996). Practical Sampling Techniques (3rd ed.). New York: Marcel Dekker. • Swyngedouw, M. (1993). Transitietabelanalyse en ML-schattingen voor partieel geclassificeerde verkiezingsdata via loglineaire modellen. Kwantitatieve Methoden , 43 , 119–149. • Vehovar, V. (1999). Field substitution and unit nonresponse. Journal of Official Statistics , 15 , 335–350. • Verbeke, G. and Molenberghs, G. (2000). Linear Mixed Models for Longitudinal Data. New York: Springer. InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 5
Setting the Scene Schepers, Juchtmans, and Nicaise (2016) • How rare is the population? • How readily can members of the population be identified? • Is there a large-scale survey that can serve as a screener sample for identifying members of the target population? • Is the target population more concentrated in some parts of the sampling frame? • Are there one or more partial sampling frames of the hard-to-sample population that are available for use in sampling? • Is the target population accessible by sampling households? InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 6
The Belgian Health Interview Survey • Conducted in years: 1997 – 2001 – 2004 – 2008 – 2013 • Commissioned by: ⊲ Federal government ⊲ Flemish Community ⊲ French Community ⊲ German Community ⊲ Walloon Region ⊲ Brussels Region InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 7
Design At-a-Glance • Regional stratification: fixed a priori • Provincial stratification: for convenience • Three-stage sampling: ⊲ Primary sampling units (PSU): Municipalities: proportional to size ⊲ Secondary sampling units (SSU): Households ⊲ Tertiary sampling units (TSU): Individuals • Over-representation of German Community • Over-representation of 4 ( 2 ) provinces in 2001 ( 2004 ): Limburg Hainaut Antwerpen Luxembourg • Sampling done in 4 quarters: Q1, Q2, Q3, Q4 InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 8
Regional Stratification 1997 2001 2004 Region Goal Obt’d Goal Obt’d Goal Obt’d Flanders 3500 3536 3500 + 550 = 4050 4100 3500 + 450 + elderly + 450 = 4400 4513 Wallonia 3500 3634 3500 + 1500 = 5000 4711 3500 + 900 + elderly + 450 = 4850 4992 Brussels 3000 3051 3000 3006 3000 + elderly + 350 = 3350 3440 Belgium 10,000 10,221 10,000 + 2050 = 12,050 12,111 10,000 + 1350 + elderly + 1250 = 12,600 12,945 InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 9
Provincial Stratification in 1997 Province sample # sample % pop. % Antwerpen 945 26.7 27.7 Oost-Vlaanderen 812 23.0 23.0 West-Vlaanderen 733 20.7 19.1 Vlaams-Brabant 593 16.8 17.0 Limburg 453 12.8 13.2 Hainaut 1325 36.5 38.7 Li` ege 1210 33.3 30.6 Namur 465 12.8 13.2 Brabant-Wallon 356 9.8 10.3 Luxembourg 278 7.6 7.3 Brussels 3051 InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 10
Provincial Stratification in 2001 % in # interviews # # rate p. Province pop. region theor. round oversp. sum actual groups towns 1000 Antwerpen 1,640,966 27.7 969 950 350 1300 1302 26 19 0.79 Oost-Vlaanderen 1,359,702 22.9 803 850 0 850 874 17 17 0.63 West-Vlaanderen 1,127,091 19.0 665 650 0 650 673 13 13 0.58 Vlaams-Brabant 1,011,588 17.1 598 600 0 600 590 12 12 0.59 Limburg 787,491 13.3 465 450 200 650 661 13 13 0.83 Flanders 5,926,838 100 3500 3500 550 4050 4100 81 74 0.68 Hainaut 1,280,427 39.3 1256 1250 500 1750 1747 35 27 1.37 Li` ege 947,787 29.0 929 950 0 950 935 19 19 1.00 Namur 441,205 13.5 433 450 0 450 435 9 7 1.02 Brabant Wallon 347,423 10.7 341 300 0 300 291 6 6 0.86 Luxembourg 245,140 7.5 241 250 1000 1250 1303 25 21 5.10 Wallonnia 3,261,982 100 3200 3200 1500 4700 4711 94 80 1.44 German comm. 70,472 1.1 300 300 0 300 294 6 6 4.26 Wallonnia+German 3,332,454 100 3500 3500 1500 5000 5005 100 86 1.50 Brussels 954,460 100 3000 3000 0 3000 3006 60 18 3.14 Belgium 10,213,752 100 10,000 10,000 2050 12,050 12,111 241 178 1.18 InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 11
Provincial Stratification in 2001 % in # interviews # # rate p. Province pop. region theor. round oversp. sum actual groups towns 1000 Antwerpen 1,640,966 27.7 969 950 350 1300 1302 26 19 0.79 Oost-Vlaanderen 1,359,702 22.9 803 850 0 850 874 17 17 0.63 West-Vlaanderen 1,127,091 19.0 665 650 0 650 673 13 13 0.58 Vlaams-Brabant 1,011,588 17.1 598 600 0 600 590 12 12 0.59 Limburg 787,491 13.3 465 450 200 650 661 13 13 0.83 Flanders 5,926,838 100 3500 3500 550 4050 4100 81 74 0.68 Hainaut 1,280,427 39.3 1256 1250 500 1750 1747 35 27 1.37 Li` ege 947,787 29.0 929 950 0 950 935 19 19 1.00 Namur 441,205 13.5 433 450 0 450 435 9 7 1.02 Brabant Wallon 347,423 10.7 341 300 0 300 291 6 6 0.86 Luxembourg 245,140 7.5 241 250 1000 1250 1303 25 21 5.10 Wallonnia 3,261,982 100 3200 3200 1500 4700 4711 94 80 1.44 German comm. 4.26 70,472 1.1 300 300 0 300 294 6 6 Wallonnia+German 3,332,454 100 3500 3500 1500 5000 5005 100 86 1.50 Brussels 954,460 100 3000 3000 0 3000 3006 60 18 3.14 Belgium 10,213,752 100 10,000 10,000 2050 12,050 12,111 241 178 1.18 InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 12
Provincial Stratification in 2004 Province Goal Obtained Antwerpen 1100 1171 Oost-Vlaanderen 900 944 West-Vlaanderen 750 814 Vlaams-Brabant 650 561 Limburg 1000 1023 Hainaut 1500 1502 Li` ege 1200 1181 Namur 550 531 Brabant-Wallon 400 446 Luxembourg 1200 1332 Brussels 3350 3440 InGRID: ‘Reaching out to hard-to-surey groups among the poor’, Leuven, May 31, 2016 13
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